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Chief Compliance Officer

2 months ago

New York, United States Roots Recruiting Full time

CCO (New York, NY): Our client is seeking a dynamic and experienced Chief Compliance Officer to join their team. The CCO will be responsible for overseeing and managing all aspects of the company's compliance program, ensuring adherence to regulatory requirements and internal policies. This role will play a crucial part in maintaining the integrity of their operations and safeguarding their reputation in the industry. This is a unique opportunity for someone looking to take the next step in their career and join a growing firm.


Responsibilities:

  • Manage the firm’s overall compliance program
  • Manage risk identification and compliance testing programs including risk matrixing, identifying opportunities for compliance testing and internal control enhancements
  • Support management in achieving business objectives while managing regulatory, compliance and reputational risk
  • Review and approve external communications including marketing materials
  • Support the firm’s capital raising efforts, particularly relating to marketing in Non-U.S. jurisdictions
  • Prepare regulatory filings
  • Aid in the preparation and readiness for any future SEC exams
  • Collaborate with legal counsel and other internal stakeholders to address legal and regulatory issues impacting the business.
  • Lead employee training
  • Partner with IT in overseeing the firm’s cybersecurity and business continuity and disaster recovery programs, and document annal firm-wide cybersecurity risk assessment

Requirements:

  • Bachelor's degree with a strong record of academic achievement
  • JD Preferred
  • 8+ years of hands-on asset management compliance experience
  • Strong understanding of the Investment Advisers Act of 1940 and other rules and regulations applicable to RIAs that manage pooled investment vehicles and separately managed accounts
  • Adept at collaboration with and advising a diverse set of individuals and constituencies, including senior management
  • Highly organized, detail-oriented, and analytical
  • Ability to multitask and prioritize competing demands to meet deadlines
  • Experience with ComplySci is a plus